RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
R••••• W•••••• D••••
- A•••• I••••••••• A•••••••• L•• mixed wealth currentsince Nov 16, 2018 · Tacoma, Wa
- K•• F•••••••• S•••••••• I•• formerJan 25, 2016 to Nov 1, 2018 · Anchorage, Ak
- D•••••• C•••••• M••••••••• I••• state registeredAug 21, 2014 to Mar 10, 2016 · Anchorage, Ak
- M•• F•••••••• S•••••••• I••• formerSep 17, 2013 to Aug 1, 2014 · Anchorage, Ak
- K•• F•••••••• S•••••••• I•• to A•••• I••••••••• A•••••••• L••left Nov 1, 2018, registered Nov 16, 2018 (15 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- D•••••• C•••••• M••••••••• I••• to K•• F•••••••• S•••••••• I••left Mar 10, 2016, registered Jan 25, 2016 (-45 days) · Other
- M•• F•••••••• S•••••••• I••• to D•••••• C•••••• M••••••••• I•••left Aug 1, 2014, registered Aug 21, 2014 (20 days) · Other
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wealth manager with institutional or fund businessderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address